Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Fazio is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Jeffrey has been in the industry since 1989. Jeffrey is registered in Connecticut, New York and Texas. Jeffrey has experience with the following investment products: equities, options, mutual funds, variable annuities, fixed annuities, and retirement plans. Jeffrey provides financial advice to individuals and families. Jeffrey has worked with the following firms: SMITH BARNEY SHEARSON INC., Lehman Brothers Inc., Paine Webber Incorporated and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED. Jeffrey is a member of FINRA and has passed the following exams: Series 31, Series 7, Series 63, Series 65, Series 10, Series 9, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
02/07/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
07/31/1993 - 02/24/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
09/13/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
08/10/1989 - 09/12/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/23/1989 - 07/27/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/18/1987 - 12/31/1987
WEATHERLY SECURITIES CORPORATION
IA
Issued 08/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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